Personnel Hong Kong SFC License Details (ID 119561)

Personnel Hong Kong SFC License Details (ID 119561)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
BOCHK Asset Management Limited	RO	Advising on securities	2016-04-13	2022-05-31
	RO	Asset management	2016-04-13	2022-05-31
	RO	Dealing in securities	2016-04-13	2022-05-31
	Rep	Advising on securities	2016-02-01	2016-04-13
	Rep	Asset management	2016-02-01	2016-04-13
	Rep	Dealing in securities	2016-02-01	2016-04-13
CITIC Securities Asset Management (HK) Limited	RO	Advising on securities	2015-04-16	2016-01-24
	RO	Asset management	2015-04-16	2016-01-24
	RO	Dealing in securities	2015-04-16	2016-01-24
CITIC Securities Brokerage (HK) Limited	RO	Dealing in securities	2012-09-05	2015-02-11
	Rep	Dealing in securities	2011-10-07	2012-09-05
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2007-07-03	2011-08-12
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2006-09-08	2007-04-13